Search for: "SECURITIES CORP."
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11 Apr 2011, 8:00 pm
Facts On February 22, 2011, Garda Canada Security Corp., a national security company, pleaded guilty under the Alberta Occupational Health and Safety Act for failing to protect the safety of one of its female security guards. [read post]
4 Apr 2021, 6:59 am
Background Hennessy Capital Acquisition Corp. [read post]
27 Apr 2022, 7:02 am
Joseph La Scala (Joseph Brian La Scala CRD# 3070261) is a registered broker and a previously registered investment advisor whose current employer is Aegis Capital Corp. [read post]
19 Apr 2022, 7:40 am
Activist investment firm Blue Orca Capital recently published a report on Li-Cycle Holdings Corp. [read post]
24 Jul 2023, 12:19 pm
The Securities and Exchange Commission today announced settled fraud charges against Digital World Acquisition Corporation (DWAC), a special purpose acquisition company (SPAC), for making material misrepresentations in forms filed with the SEC as part of DWAC’s initial public offering and proposed merger with Trump Media & Technology Group Corp. [read post]
26 Jun 2008, 12:22 pm
Micrus Endovascular Corp., ___ F.Supp.2d ___ (S.D. [read post]
3 Mar 2021, 2:22 pm
Background Graf Industrial Corp. is a special purpose acquisition company that completed its IPO in October 2018. [read post]
11 Nov 2022, 9:07 am
Morgan Securities LLC Chase Investment Services Corp Roger Hickman State Farm VP Management Corp. [read post]
25 Sep 2024, 10:15 am
Background Fortress Capital Acquisition Corp. [read post]
13 Mar 2008, 3:32 pm
That's the relationship between the officer corps and the Democratic party. [read post]
25 Apr 2008, 3:28 pm
., a unit of Regions Financial Corp., announced that it had been relieved of its responsibility to oversee seven bond mutual funds. [read post]
14 Jul 2008, 7:23 pm
On Friday, July 11, IndyMac Bank was shut down by federal regulators and its assets were turned over to the Federal Deposit Insurance Corp. [read post]
29 Oct 2021, 5:30 am
The Securities and Exchange Commission today announced that Fixed Income Clearing Corporation (FICC), a clearing agency, has agreed to pay an $8 million penalty to settle SEC charges that it failed to have adequate risk management policies within its…Read the Full Press ReleaseHave a securities law question? [read post]
29 Oct 2021, 5:30 am
The Securities and Exchange Commission today announced that Fixed Income Clearing Corporation (FICC), a clearing agency, has agreed to pay an $8 million penalty to settle SEC charges that it failed to have adequate risk management policies within its…Read the Full Press ReleaseHave a securities law question? [read post]
1 Feb 2011, 1:36 pm
(OTCBB: WWBP.OB); China Digital Media Corp. [read post]
19 Aug 2011, 9:29 am
Marine Corps Reserve. [read post]
19 Feb 2011, 4:00 am
The agency has alleged that scaffold's tiebacks were not anchored securely, its pulley block was damaged, and it had not been erected by a competent person. [read post]
22 Jun 2009, 7:07 pm
Flowserve Corp., No. 07-11303, slip op. at 16 (5th Cir. [read post]
1 Mar 2013, 11:56 am
Linton, Esq., Protégé Enterprises, LLC, and Capital Edge Enterprises, LLCCase number: 12-cv-00646 (United States District Court for the Middle District of Florida)Case filed: April 30, 2012Qualifying Judgment/Order: November 5, 2012 12/7/2012 3/7/2013 2012-126 In the Matter of Credit Suisse Securities (USA) LLC; DLJ Mortgage Capital, Inc.; Credit Suisse First Boston Mortgage Acceptance Corp.; Credit Suisse First Boston… [read post]
21 Nov 2023, 4:05 am
This was basically the securities law nerd’s equivalent of the Holy Grail. [read post]
